Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Edward Thompson is a registered representative with Raymond James & Associates, Inc. Joseph has been in the securities industry since 1996 and has been registered with the state of Tennessee since 2013. He is also a registered investment advisor representative in the state of Tennessee. He holds Series 7, 9, 10, 63 and 65 licenses. Joseph has been a member of the FINRA Dispute Resolution panel since 2010 and is a Director for the 2022 CMOHS Convention - Knoxville.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TN
02/13/2013 - Present
Raymond James & Associates, Inc. (KNOXVILLE TN)
TN
09/09/1996 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (KNOXVILLE TN)
IA
Issued 09/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/08/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/18/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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